AS9100D Audit Checklist: 15 Things Registrars Check in Nonconformance Records
The exact 15-point checklist aerospace auditors and quality authorities use when reviewing nonconformance and CAPA records during a surveillance visit.
What Auditors Are Actually Looking For: The 15-Point NCR Checklist
AS9100D auditors from accredited registrar bodies and quality surveillance authorities are trained to follow a structured checklist when reviewing your nonconformance records. Understanding exactly what they check lets you build audit-readiness into your daily workflow instead of scrambling before a surveillance visit.
Clause 8.7 — Nonconforming Outputs (10 Check Points)
1. Is every nonconforming item physically identified and segregated?
Auditors look for red tags, quarantine cage signage, or positive location records. "It was set aside" is not compliant.
2. Is the discrepancy described against a specific drawing requirement?
"Part is out of tolerance" fails. "Drawing Zone B-3, Balloon #12 (Ø25.400 ±0.005 mm) — Actual: 25.418 mm" passes.
3. Is the disposition one of the five recognised outcomes?
Use As-Is, Rework, Repair, Scrap, Return to Supplier. "TBD" or "decision pending for 3 months" is an immediate finding.
4. For Use As-Is and Repair: is Design Authority sign-off documented?
The #1 Clause 8.7 audit finding in aerospace sub-tier aircraft builders and aerospace manufacturers. Verbal approvals are not compliant.
5. For Use As-Is on customer drawings: is the customer concession reference recorded?
The customer engineering concession number must be traceable. No reference = potential major finding.
6. For Scrap: is destruction verified and witnessed?
Auditors check for destruction records to prevent bogus/counterfeit part re-entry into the supply chain.
7. Are lot quantities clearly enumerated (affected vs. rejected vs. released)?
Ambiguity in quantity records leads to immediate corrective action requests.
8. Is there a repeat occurrence check?
Auditors look for linkage to prior similar NCRs within 12–24 months.
9. Is the record timestamped with date of detection, disposition, and closure?
Undated records cannot establish a compliant audit trail.
10. Is customer notification documented (if required)?
Some prime customers require immediate notification for safety-critical nonconformances.
Clause 10.2 — Corrective Action (5 Check Points)
11. Is Correction clearly separated from Corrective Action?
The immediate containment rework (correction) must be documented separately from the root cause elimination (corrective action).
12. Is root cause analysis documented using a structured methodology?
5-Whys, Fishbone/Ishikawa, or Human Factors Analysis. AS9100D specifically requires human factors to be evaluated.
13. Does the root cause investigation consider systemic causes?
"Operator error — retrained" is automatically flagged. Auditors look for process controls, poka-yoke, and procedure updates.
14. Is there a documented verification of effectiveness with objective evidence?
This is the single most common AS9100D audit finding across all registrar bodies. The CAPA cannot be closed on intent — it requires documented evidence from subsequent production lots.
15. Did the Quality Manager formally sign off on the effectiveness evidence?
A CAPA closed by the same engineer who wrote it, without QM sign-off, is typically a minor finding.
The Fastest Way to Be Audit-Ready Every Day
Running through this checklist manually before every surveillance visit consumes days. The alternative is building these 15 checks into your daily workflow — so that every NCR opened, every MRB disposition recorded, and every CAPA closed already satisfies the checklist automatically.